Types of Equity Investments (PIPEs)

Deal Size: $5 million to $500 million

Criteria:

• Growth-oriented public companies listed on NYSE, NASDAQ or on any national exchange. One of the fund also invests in companies, to a lesser extent, other major global exchanges
• Market capitalization of at least $15 million.
• Strong management team.
• Any industry.

Investors:

• Well known institutional investors.
• Up to $1.5 Billion committed capital in these funds.
• Will co-invest, but typically like to lead deals.

Timing:

Transactions typically funded within 20 business days after term sheet acceptance.

Areas of Specialization:

• Growth Capital/Recapitalizations
• Acquisition financing
• Restructuring existing private placements

Types of Investments Arranged:

Various types of equity instruments with price mechanisms tailored to meet the particular company’s needs, including:

• Common Stock
• Convertible Preferred Stock
• Convertible Debt
• Equity Lines of Credit
• Sales of restricted and/or insider shares
• International Dual Listed Companies and ADRs
• 144A Transactions

Registration Requirements: